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- Tasks: Support recruitment processes and ensure compliance with regulatory requirements.
- Company: Join AFH Wealth Management, a leading independent financial advisory firm.
- Benefits: Enjoy flexible working, competitive salary, and health perks.
- Why this job: Kickstart your career in finance while making a real impact.
- Qualifications: Understanding of regulatory processes and strong communication skills.
- Other info: Great opportunities for professional development and career growth.
The predicted salary is between 30000 - 42000 £ per year.
AFH Wealth Management is proud to be one of the UK’s leading independent financial advisory and wealth management firms. We believe that our success starts with our people. If you are determined to succeed and eager to take on new challenges, you’ll find a variety of exciting career opportunities at AFH. This is a full‑time, permanent role, with hybrid working, and a competitive salary and a range of benefits.
Key Responsibilities
- Assisting with the IFA recruitment process, ensuring that all regulatory and internal requirements are satisfactorily adhered to in a timely manner.
- Assisting where necessary with the communications to recruitment candidates and Business Development on a regular basis.
- Ensuring that all necessary records are updated to reflect current recruitment status.
- Producing Management Information, where necessary, that is relevant to the duties undertaken.
- Collating regulated induction packs for staff and advisers and updating the relevant records.
- Supporting the coordination of the training system and assessment construction, including collation of results and exam MI.
- Working closely with the firm’s Training Manager to ensure that regulated training requirements for staff are met.
- Assisting with administering annual and ongoing fit & proper checks for IFAs and other regulated staff: Personal Account Dealing, Gifts & Inducements, Credit checks, Assets & Liabilities updates.
- Assisting in the development of all Training & Competence regulatory templating and in the research of Personal Account Dealing queries.
- Ensuring that T&C records fully reflect the work conducted and are thorough and legible in nature.
- Conducting necessary due diligence on all 3rd party provider & introducer terms of business and submit for authorisation.
- Conducting RI contracts and introducer agreements once full due diligence has been completed and checked and to manage the process of the contract being put into force.
What we are looking for
- Good understanding of regulatory recruitment process and of FCA T&C requirements.
- Communicating effectively, ensuring that SLAs are adhered to.
- Delivery of accurate information to relevant parties.
Benefits of working for AFH Wealth Management
- Flexible working & holidays – Enjoy flexible working and competitive holiday allowance, with annual buy & sell scheme options and your birthday off, plus additional holiday days for long service.
- Social perks – All employees are invited to our annual Christmas and Summer parties.
- Pension – We offer a contributory pension scheme with Royal London as well as death-in-service benefit.
- Bonus scheme – All AFH employees are offered a competitive salary and a discretionary annual bonus, following completion of a year’s service.
- Health and wellbeing – The MediCash app puts your health in the palm of your hands; claim cashback on a wide selection of health and wellbeing initiatives, including discounted health club memberships and free healthcare benefits.
- Professional development – We are committed to helping you reach your potential by offering tailored learning and development programmes to pursue your career goals.
How to Apply
Send your application to recruitment@afhgroup.com or click 'APPLY' on the website. We look forward to hearing from you!
Compliance Administrator in Bromsgrove employer: AFH Wealth Management
Contact Detail:
AFH Wealth Management Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Administrator in Bromsgrove
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect on LinkedIn. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching AFH Wealth Management thoroughly. Understand their values, culture, and recent news. This will help you tailor your answers and show that you're genuinely interested in the role.
✨Tip Number 3
Practice common interview questions with a friend or in front of a mirror. The more comfortable you are with your responses, the more confident you'll feel during the actual interview.
✨Tip Number 4
Don't forget to follow up after your interview! A quick thank-you email can leave a lasting impression and shows your enthusiasm for the position. Plus, it keeps you on their radar!
We think you need these skills to ace Compliance Administrator in Bromsgrove
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Administrator role. Highlight your understanding of regulatory processes and any relevant experience you have. We want to see how you fit into our team!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're excited about the role and how your skills align with what we’re looking for. Keep it concise but impactful!
Showcase Your Communication Skills: Since effective communication is key in this role, make sure your application reflects your ability to convey information clearly. We love candidates who can articulate their thoughts well!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s quick and easy, and you’ll be one step closer to joining our fantastic team at AFH Wealth Management!
How to prepare for a job interview at AFH Wealth Management
✨Know Your Regulations
Make sure you brush up on the regulatory recruitment process and FCA T&C requirements before your interview. Being able to discuss these topics confidently will show that you're serious about the Compliance Administrator role and understand the industry's expectations.
✨Communicate Clearly
Effective communication is key in this role. Practice articulating your thoughts clearly and concisely, especially when discussing how you would handle candidate communications or manage records. This will demonstrate your ability to adhere to SLAs and deliver accurate information.
✨Showcase Your Organisational Skills
Since the role involves managing various records and producing Management Information, be prepared to share examples of how you've successfully organised and maintained important documents in previous roles. Highlighting your attention to detail will be a big plus!
✨Ask Insightful Questions
At the end of the interview, don’t forget to ask questions! Inquire about the training system coordination or how the team collaborates with the Training Manager. This shows your genuine interest in the role and helps you understand how you can contribute effectively.
